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RM

Richard C. Marshall

Some features on this profile are disabled
CRD#: 2453550
RM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Carel Marshall, CFP®, who also goes by Richard Marshall, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 2 firms and has passed the Series 65 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Marshall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
-BUSINESS NAME: RCM ANALYTICS, LLC -BUSINESS IS NOT INVESTMENT-RELATED. -BUSINESS ADDRESS: 2622 ANTHONY LANE, MISSOULA, MT 59803 -NATURE OF BUSINESS: ECONOMIC CONSULTING -POSITION: OWNER -START DATE: AUGUST 2010 -NUMBER OF HOURS PER MONTH: 5-10 ON AVERAGE -NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 0 -DUTIES: PERFORM ECONOMIC ANALYSIS RELATING TO MINERAL PROJECTS ON FEDERAL LANDS

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2009

Experience

Past

January 23, 2013 - January 27, 2025

STEWART & ASSOCIATES

RIA
CRD#: 159486
MISSOULA, MT
Past

March 22, 2002 - February 10, 2012

F. STEWART & ASSOCIATES, P.C.

RIA
CRD#: 118054
MISSOULA, MT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/19/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/8/1994
National Commodity Futures Examination

Current Firm

S&
STEWART & ASSOCIATES
STEWART & ASSOCIATES | STEWART & ASSOCIATES, PLLC

CRD#: 159486 / SEC#:

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Contact information

Main Address
27 Fort Missoula Rd. Suite 1, Missoula, MT 59804
Mailing Address
Phone number
(406) 541-3733
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
TexasERA - Withdrawn12/2/2020

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STEWART & ASSOCIATES

CRD#: 159486

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